TEMPLATES AND RESOURCES
Build your AML framework on a sound regulatory foundation.
Practical templates and worked examples for firms building or refreshing their AML framework, developed by a former SRA AML Regulatory Manager who authored SRA guidance on Client and Matter Risk Assessments and Source of Funds and Source of Wealth.
How it works
1
Check
Take the free AML Foundations Check to see where your framework stands against the core requirements.
2
Strengthen
Use the SRA and Law Society's own material and MCAC templates and worked examples, to close gaps in your existing framework, or to put one in place for the first time.
3
Review
Submit your completed document for an independent, fixed-fee review against the applicable MLR 2017 requirements.
FROM THE SRA & THE LAW SOCIETY
Resources worth reading first.
The SRA and the Law Society publish resources covering many of the core AML requirements for law firms. These are useful starting points when building or reviewing your framework.
Firm-wide risk assessment guidance and template
Client and matter risk assessment guidanceIncludes low and high risk worked examples
Source of funds and source of wealth
TEMPLATES AND RESOURCES
Written for law firms, mapped to the regulations.
AML Policy Template
This template gives your firm a structured basis for developing or reviewing its AML policy, with each section mapped to the relevant regulatory requirements and drafting notes on the decisions your firm needs to make for itself. The content is informed by issues commonly identified during SRA AML inspections.
Single-office practice
One office, with AML responsibilities held centrally
Multi-department practice
Several practice areas in scope of the MLR 2017
Available soon
International or group structure
UK offices operating within a group-wide AML framework
FWRA worked examples
A companion to the SRA's firm-wide risk assessment template, showing how to assess and record risk factors across clients, services, geography, transactions and delivery channels.
Available soon
In-person AML training
Face-to-face training for fee earners, support staff and senior management, delivered at your offices and tailored to your firm's work, client base and risk assessment.
Available soon
FIXED FEE
Independent document review
Submit your completed AML policy or firm-wide risk assessment for an independent review against the applicable MLR 2017 requirements. You receive written comments identifying areas requiring clarification, strengthening or further consideration.
Document review
A defined review of one completed document, with written comments and one follow-up review once your revisions are made.
Amendment service
The changes identified in the review made to your document for you, provided for a separate fixed fee.
​Independent AML audit
A broader independent assessment of your firm's AML arrangements and how they operate in practice, including review of relevant controls, records and matter files. Available through the advisory service.
Need more detailed support?
If your firm requires an independent audit, a wider framework review or bespoke AML advice, view the advisory services.